Template

SOX Compliance Checklist

700+

A SOX compliance checklist is used by the management team of publicly-traded companies to evaluate their compliance with the Sarbanes-Oxley Act and improve areas where potential noncompliance can occur. Use this checklist as a practical application of Section 404: Management Assessment of Internal Controls because it seems to cause the most difficulties for compliance.

With Mitti you can

Digitize any process, procedure or policy

Eliminate mistakes made by paper-based processes

Create and share professional reports instantly

Confirm accountability and compliance with a digital log

With Mitti you can

Digitize any process, procedure or policy

Eliminate mistakes made by paper-based processes

Create and share professional reports instantly

Confirm accountability and compliance with a digital log

About author

Mitti

Mitti (by SafetyCulture) is the operations system for every site, shift and standard. Trusted by 80,000 organizations in 190 countries, Mitti publishes free checklists, SOP templates, audit checklists and toolbox talk topics that turn paper processes into a digital audit trail. Download one, put it to work on your next inspection or shift, and see why teams keep coming back for more.

Template

SOX Audit Checklist

A SOX audit checklist is a tool used by internal auditors to verify the implementation of security controls, focusing on Section 302: Corporate Responsibility of Financial Records and Section 404. Use this checklist to assess the company's safeguards to prevent data tampering, track data access, and detect security breaches. This checklist also includes appropriate measures for disclosure to SOX Auditors.

by Mitti

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Template

SOX Compliance Checklist for Section 404 Readiness

This SOX compliance checklist helps management assess and document Section 404 internal controls over financial reporting. It guides a top-down, risk-based approach; ownership by operating management; effective change management; and timely remediation of deficiencies. It covers optimizing reliance on automated and higher-level controls, coordinating with internal and external auditors, and scheduling walkthroughs and testing to mid-year with updates before year-end. The checklist also addresses resource planning, fraud risk assessment, service provider reports (e.g., SAS 70), ongoing KPI reporting to executives, and escalation of issues to ensure year-end readiness and robust control effectiveness.

by Amine Bouchane, from the Community

10+

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Template

SOX Audit Checklist for Sections 302 and 404

This SOX audit checklist helps internal auditors assess controls required by Sections 302 and 404. It focuses on preventing data tampering, timestamping and secure storage of records, tracking and logging access from multiple sources, and ensuring safeguards are operational through scheduled reporting. It also covers breach detection using correlation and alerting, use of ticketing for incident tracking, and role-based permissions for auditor access. The checklist guides regular effectiveness reporting and proper disclosure of safeguards, breaches, and failures to SOX auditors.

by Patience Curtis, from the Community

20+

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Lista de comprobación del cumplimiento de la SOX

Template

Lista de comprobación del cumplimiento de la SOX

El equipo de gestión de las empresas que cotizan en bolsa utiliza una lista de verificación de cumplimiento de SOX para evaluar su cumplimiento con la Ley Sarbanes-Oxley y mejorar las áreas donde pueda ocurrir un posible incumplimiento. Utilice esta lista de verificación para la aplicación práctica de la Sección 404: Evaluación de la gestión de los controles internos, ya que parece causar la mayoría de las dificultades en el cumplimiento.

by Mitti

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Template

Export Compliance Checklist

An export compliance checklist is an assessment tool used to determine compliance with Export Administration Regulations and implement corrective actions for non-compliance. Easily evaluate the recordkeeping, auditing, reporting, and escalation procedures of the company using this checklist. This checklist has been designed to make it easier for compliance teams to perform a risk assessment of their security and screening procedures

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Template

Management Audit Checklist

A Maintenance Audit Checklist is used to ensure that management systems and processes are effectively addressing the objectives and goals of the business or company. This template can be used by compliance teams or audit managers to record and report any act of non-conformances or misconduct. The template has been built to guide the inspector to perform the following: Talk to managers and evaluate the effectiveness of the administrative controls in place Take note of any defect or irregularities in the processes being done Assign actions to responsible teams concerning urgent issues that may arise during the audit Complete the inspection with a digital signature and timestamp to validate audit

by Mitti

900+

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SOX Compliance Checklist

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SOX Audit Checklist

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Lista de comprobación del cumplimiento de la SOX

Export Compliance Checklist

Management Audit Checklist